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JM

J. R. Matheis

Some features on this profile are disabled
CRD#: 869179
JM

Professional summary

J. Richard Matheis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

J. is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, J. had worked at 8 firms, which includes LEXAURUM ADVISORS, UNION CAPITAL COMPANY, BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., VSR FINANCIAL SERVICES INC., THE MASTERS INC., VISTA WEALTH MANAGEMENT INC., TITAN/VALUE EQUITIES GROUP INC., WZW FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

J Richard Matheis | John Richard Matheis | Ric Matheis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 1, 2021 - November 21, 2025

LEXAURUM ADVISORS

RIA
CRD#: 283653
Overland Park, KS
Past

July 16, 2018 - October 13, 2021

UNION CAPITAL COMPANY

BD
CRD#: 110301
Overland Park, KS
Past

February 26, 2008 - July 17, 2018

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
OVERLAND PARK, KS
Past

February 7, 2003 - February 26, 2008

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
OVERLAND PARK, KS
Past

June 2, 1998 - February 7, 2003

THE MASTERS, INC.

RIA
CRD#: 108432
OVERLAND PARK, KS
Past

April 27, 1989 - November 2, 2021

VISTA WEALTH MANAGEMENT, INC.

RIA
CRD#: 117929
OVERLAND PARK, KS
Past

July 2, 1986 - February 26, 2008

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
OVERLAND PARK, KS
Past

April 11, 1985 - July 10, 1986

TITAN/VALUE EQUITIES GROUP, INC.

BD
CRD#: 6359
Past

July 27, 1979 - May 15, 1984

WZW FINANCIAL SERVICES, INC.

BD
CRD#: 5717

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LA
LEXAURUM ADVISORS
BLUE SKY FINANCIAL MANAGEMENT | WILEY FINANCIAL SERVICES | WEALTHCHARTER RETIREMENT PLANNING | VERITAS INVESTMENT PARTNERS, LLC | THE KIRKWOOD GROUP | THE DONNELLY COMPANY | SULLIVAN WEALTH STRATEGIES | STAPF FINANCIAL SERVICES | SPICER RETIREMENT ADVISORS | SHEPHERD ADVISOR | SEASONS FINANCIAL GROUP | RICHARD A. GAGNE & ASSOCIATES | PERSINGER PLANNING | PASCOLO 271 PRIVATE WEALTH MANAGEMENT | PARTRIDGE WEALTH | NAVALIS WEALTH MANAGMENT | LEXAURUM ADVISORS, LLC | LEXAURUM ADVISORS | LAZOR INSURANCE & FINANCIAL SERVICES | KRANSTUBER WEALTH MANAGEMENT | KOWITZ FINANCIAL GROUP | JR HASSEN WEALTH MANAGEMENT | INTEGRATIVE RISK MANAGEMENT | IN THE GAME WEALTH MANAGEMENT | HERITAGE ADVISORS | HARSHA ADVISORY GROUP | GRANT MARSHALL RETIREMENT & WEALTH PLANNING | GEMINI FINANCIAL ADVISORS | GAMEDAY WEALTH MANAGEMENT | FOCAL POINT FINANCIAL GROUP | ELEMENTAL WEALTH GROUP | CARPENTER AND ASSOCIATES | CAPITAL RESOURCE GROUP

CRD#: 283653 / SEC#: 801-107738

RIA
Registered Investment Advisory firm - (5/10/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/2/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/7/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 1/4/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 11/11/2011
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/6/1985
General Securities Principal Examination

Current Firm

LA
LEXAURUM ADVISORS
BLUE SKY FINANCIAL MANAGEMENT | WILEY FINANCIAL SERVICES | WEALTHCHARTER RETIREMENT PLANNING | VERITAS INVESTMENT PARTNERS, LLC | THE KIRKWOOD GROUP | THE DONNELLY COMPANY | SULLIVAN WEALTH STRATEGIES | STAPF FINANCIAL SERVICES | SPICER RETIREMENT ADVISORS | SHEPHERD ADVISOR | SEASONS FINANCIAL GROUP | RICHARD A. GAGNE & ASSOCIATES | PERSINGER PLANNING | PASCOLO 271 PRIVATE WEALTH MANAGEMENT | PARTRIDGE WEALTH | NAVALIS WEALTH MANAGMENT | LEXAURUM ADVISORS, LLC | LEXAURUM ADVISORS | LAZOR INSURANCE & FINANCIAL SERVICES | KRANSTUBER WEALTH MANAGEMENT | KOWITZ FINANCIAL GROUP | JR HASSEN WEALTH MANAGEMENT | INTEGRATIVE RISK MANAGEMENT | IN THE GAME WEALTH MANAGEMENT | HERITAGE ADVISORS | HARSHA ADVISORY GROUP | GRANT MARSHALL RETIREMENT & WEALTH PLANNING | GEMINI FINANCIAL ADVISORS | GAMEDAY WEALTH MANAGEMENT | FOCAL POINT FINANCIAL GROUP | ELEMENTAL WEALTH GROUP | CARPENTER AND ASSOCIATES | CAPITAL RESOURCE GROUP

CRD#: 283653 / SEC#: 801-107738

RIA
Registered Investment Advisory firm - (5/10/2016 Approved)
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Contact information

Main Address
16010 Metcalf Avenue, Suite 101, Overland Park, KS 66085
Mailing Address
Phone number
(913) 261-9316
Established
Firm type
Fiscal year end
# of Employees
45

SEC notice filing (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LEXAURUM ADVISORS, LLC - ADV PART 2A (3/26/2025) (3/26/2025)

Regulatory assets under management

Total Number of Accounts4,641
AUM (Assets Under Management)$ 1,006,435,215

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

LEXAURUM ADVISORS

CRD#: 283653

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